United States Court of Appeals
For the First Circuit
No. 01-2392
UNITED STATES OF AMERICA,
Appellee,
v.
CHAMOND HENDERSON, A/K/A "BUTTER,"
Defendant, Appellant.
APPEAL FROM THE UNITED STATES DISTRICT COURT
FOR THE DISTRICT OF MASSACHUSETTS
[Hon. Nathaniel M. Gorton, U. S. District Judge]
Before
Selya, Circuit Judge,
Coffin and Bownes, Senior Circuit Judges.
John T. Ouderkirk, Jr., for appellant.
Peter K. Levitt, Assistant United States Attorney, with whom
Michael J. Sullivan, United States Attorney, was on brief for
appellee.
February 14, 2003
BOWNES, Senior Circuit Judge. Defendant-appellant
Chamond Henderson ("Henderson") appeals from a jury conviction on
all five counts of an indictment charging him and two others.
Count One charged Henderson, Robert Carey ("Carey") and Kimberly
Powers ("Powers") with conspiring to possess with intent to
distribute more than 50 grams of crack cocaine, in violation of 21
U.S.C. § 846.1 Counts Two through Five charged Henderson and
Powers with possessing crack cocaine with intent to distribute it
and with distribution in violation of 21 U.S.C. § 841(a)(1) and 18
U.S.C. § 2. Carey was also charged in Count Five.
Henderson and Carey were tried jointly. Both were
convicted and appealed separately. Carey's appeal is also before
us and is the subject of a separate opinion. See United States v.
Carey, No. 01-2439. Powers entered into a plea bargain with the
government and testified at the trial.
I. THE EVIDENCE
We recount the facts as the jury rationally could have
found them, consistent with record support. In October 1998 the
Drug Enforcement Administration ("DEA") began an investigation of
crack cocaine trafficking in Worcester, Massachusetts. The DEA
contacted a known crack cocaine user, Joseph Mozynski ("Mozynski"),
1
Grams and ounces are used interchangeably throughout this
opinion. It should be noted that one ounce equals 28.35 grams.
See United States Sentencing Commission, Guidelines Manual, §
2D1.1, comments. (n.11) (Nov. 2002).
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to serve as a cooperating witness in its investigation. Mozynski
knew Henderson and had seen him once or twice before becoming a
cooperating witness. Mozynski facilitated four purchases of crack
cocaine from Henderson during the course of the investigation.
Henderson and Mozynski were present at all four sales. Two of
these four purchases were made in the basement of the apartment
building in which Henderson lived, 27 Wachusett Street. The other
sales took place within two blocks of Wachusett Street.
A. The First Sale
The sale occurred on October 19, 1998. It took place at
6 Denny Street in Worcester. Carey and Powers were living there at
the time. Mozynski talked to Carey about wanting to buy crack
cocaine and was told by Carey that he could get it from a person
called "Butter." The deal was that Mozynski would pay $1,200 for
25 grams of crack cocaine. Carey was to get $200 for setting up
the sale. It was agreed that Mozynski would pick up the crack
cocaine at 6 Denny Street on October 19.
On that day, Mozynski met with DEA Special Agents Timothy
Anderson and Robert Guerard. They searched him and then wired him
with a concealed monitoring device, enabling the DEA to tape record
the drug transactions, and gave him $1,200. The agents watched
Mozynski enter 6 Denny Street. After he was inside the house, he
was met by Powers, Carey, and a woman named Lynn Cappulett.
Mozynski showed Powers the $1,200 and Powers told Carey to page
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Butter. After speaking to Butter on the phone and telling him that
Mozynski was here with the money, Powers told Mozynski that Butter
would be there within five minutes. Agent Anderson videotaped
Henderson walking down Denny Street and then turning into the
driveway at 6 Denny Street. Mozynski gave Henderson the $1,200 and
received from him a package. Mozynski and Henderson discussed
future transactions, and Henderson told Mozynski to contact him
only through Powers.
A short time after Mozynski had entered 6 Denny Street,
Agent Anderson observed and videotaped him leaving the premises.
Mozynski went straight to the DEA agents and gave them the package
Henderson had given him. Mozynski also made a written statement
describing the events that took place inside 6 Denny Street. As
part of the statement, Mozynski described Henderson as five feet,
ten inches tall, 175 or 180 pounds and of medium complexion. A
couple of minutes later, Agent Anderson observed and videotaped
Henderson leaving 6 Denny Street. A chemical analysis of the
contents of the package given by Mozynski to the DEA agents showed
that it contained 23.7 grams of crack cocaine.
B. The Second Sale
The second sale, which took place on October 27, 1998,
was also a face-to-face purchase by Mozynski. Mozynski met Powers
at 6 Denny Street to purchase three ounces of crack cocaine from
Henderson. After leaving Denny Street, Mozynski and Powers met
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Agent Guerard in the car he used for undercover work. Agent
Guerard said he was a customer of Mozynski. Powers told Guerard to
drive to a nearby location where Powers and Mozynski got out of the
car. Mozynski and Powers met Henderson in the basement of
Henderson's apartment building at 27 Wachusett Street. Mozynski
paid Henderson $3,000 and was given a piece of newspaper containing
a plastic bag. Mozynski then delivered the package to Agent
Guerard, who searched him. The subsequent chemical analysis showed
the substance in the plastic bag contained 73.2 grams of crack
cocaine.
C. The Third Sale
The third sale took place on November 3, 1998. Mozynski
contacted Powers prior to November 3. Powers told him to contact
Butter directly by his pager, which he did. Butter returned the
page; they talked over the phone and agreed to another drug sale
using the same format as the prior sale. On November 3, Mozynski
met Powers at 6 Denny Street. They both met Agent Guerard in his
car. Powers and Mozynski again met Henderson in the basement of
Henderson's apartment building at 27 Wachusett Street. Mozynski
gave Henderson $3,000 and Henderson gave Mozynski a package. The
package was delivered to Agent Guerard. Subsequent analysis
disclosed that the contents of the package contained 81.09 grams of
cocaine. A DEA agent took photos of Powers and Mozynski entering
27 Wachusett Street.
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D. The Fourth Sale
There were actually two more sales. On November 16,
Powers met with Henderson on the street while Mozynski waited a
short distance away. It was dark outside and Mozynski could not
positively identify Henderson. Henderson gave Powers a package,
which Powers gave to Mozynski. Analysis of the package disclosed
that it contained wax, not crack cocaine. Mozynski called Butter
from Carey's apartment the evening of the wax sale. Butter said
that he would give Mozynski the crack cocaine he owed him.
Mozynski then met with Agent Guerard and gave him Butter's pager
number, which Guerard called. The agent spoke to Butter, who
promised that he would give Guerard one ounce of crack cocaine the
next day, November 17, and two and one half ounces the day after,
November 18. The beeper number Agent Guerard used to contact
Butter was listed to "D. Henderson" of "27 Wahusset Street,
Worcester, MA." Henderson, whose middle name is David, lived at
"27 Wachusett Street" in Worcester. On November 17, Powers met
Henderson at 27 Wachusett Street and Henderson gave her a package
to give Mozynski. Powers then met Mozynski and handed him the
package which Mozynski gave to Agent Guerard. An analysis showed
that the package contained 19.68 grams of cocaine.
In addition to this evidence there was testimony by
Powers that she bought crack cocaine from Henderson on a daily
basis throughout the period of the conspiracy; that at times she
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made purchases of crack cocaine several times a day; that she
usually purchased crack cocaine one ounce at a time which she sold
to her customers. Powers further testified that Carey regularly
bought crack cocaine from Henderson during the period of the
conspiracy. She also testified that Carey either used the crack
cocaine himself or resold it to his own customers. Powers and
Carey lived together during most of the conspiracy period.
II. THE ISSUES
We consider the issues in the order set forth in
appellant's brief.
A. The Admissibility of the Identification Testimony
Defendant filed a Motion to Suppress Identifications.
There was a hearing on the motion prior to trial. The district
court denied the motion by a margin notation, "Motion Denied."
There were no findings of facts or rulings of law. "We will uphold
a district court's decision to deny a suppression motion if the
decision is supported by any reasonable view of the evidence."
United States v. Campa, 234 F.3d 733, 737 (1st Cir. 2000). "Our
review of a district court's decision to grant or deny a
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suppression motion is plenary."2 United States v. McCarthy, 77
F.3d 522, 529 (1st Cir. 1996).
There is an additional factor, however, that must be
addressed in our consideration of the pretrial review of the
suppression motion. There were two identification witnesses who
testified at the hearing, Powers and Mozynski. In January 1999,
Mozynski was shown a single booking photo of the defendant.
Mozynski was asked "Who is this?" He replied, "It looks like
Butter." In mid-February 1999, Powers was shown the same photo.
Powers was asked if it was "Butter." She answered, "Yes."
The Supreme Court has dealt directly with this problem.
In Simmons v. United States, 390 U.S. 377, 384 (1968), the Court
held:
Despite the hazards of initial identification
by photograph, this procedure has been used
widely and effectively in criminal law
enforcement, from the standpoint both of
apprehending offenders and of sparing innocent
suspects the ignominy of arrest by allowing
eyewitnesses to exonerate them through
scrutiny of photographs. The danger that use
of the technique may result in convictions
based on misidentification may be
substantially lessened by a course of cross-
examination at trial which exposes to the jury
the method's potential for error. We are
2
We are somewhat hampered in our review of the hearing on the
motion to suppress because there seems to be no complete transcript
of the pretrial hearing. There is an excerpt in the record of that
portion of the hearing devoted to the admission of pawn shop
receipts. It is, of course, the duty of the appellant to make sure
the record is complete. We will do the best we can with what we
have.
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unwilling to prohibit its employment, either
in the exercise of our supervisory power or,
still less, as a matter of constitutional
requirement. Instead, we hold that each case
must be considered on its own facts, and that
convictions based on eyewitness identification
at trial following a pretrial identification
by photograph will be set aside on that ground
only if the photographic identification
procedure was so impermissibly suggestive as
to give rise to a very substantial likelihood
of irreparable misidentification.
(emphasis added). We have, of course, followed this teaching:
Before excluding identification evidence, the
court must be persuaded that there was a very
substantial likelihood of irreparable
misidentification. A court must also be
mindful that it is only in extraordinary cases
that identification evidence should be
withheld from the jury.
United States v. De Jesus-Rios, 990 F.2d 672, 677 (1st Cir. 1993)
(citations and quotation marks omitted); see also United States v.
Watson, 76 F.3d 4, 6 (1st Cir. 1996); United States v. Guzman-
Rivera, 990 F.2d 681, 682 (1st Cir. 1993).
We use a two-step test to make this determination. See
United States v. Lopez-Lopez, 282 F.3d 1, 10 (1st Cir. 2002). The
first step is to decide whether there was an impermissibly
suggestive procedure. See id. We skip this step because the
government has conceded that the photographic procedure was
suggestive. Our next step is to "decide whether the identification
itself was reliable under the totality of the circumstances,
notwithstanding the suggestive procedure." Id. at 10-11 (quoting
Watson, 76 F.3d at 6). Neal v. Biggers, 409 U.S. 188, 199-200
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(1972), is the keystone case on the determination of identification
reliability. It enumerates five factors in the analysis: (1) the
opportunity of the witness to view the criminal at the time of the
crime; (2) the witness' degree of attention; (3) the accuracy of
the witness' prior description of the defendant; (4) the level of
certainty demonstrated by the witness at the confrontation; (5) the
length of time between the crime and the confrontation.
We make our analysis bearing in mind that "reliability is
the linchpin in determining the admissibility of identification
testimony." Manson v. Brathwaite, 432 U.S. 98, 114 (1977). We
start with the testimony of Mozynski. As far as the first factor,
Mozynski had at least three opportunities to view the defendant
closely. This was not a single event crime. There were three
face-to-face sales by the defendant to Mozynski. In addition,
Mozynski had seen Henderson on one or two occasions before he
started working for the government as an informant.
The next factor is the witness' degree of attention. The
evidence demonstrates that Mozynski had a sufficient degree of
attention; he testified at trial to specific details about the
crack cocaine transactions with Henderson. Mozynski, for example,
described how in one transaction Henderson wore a black, gold and
white football jersey and a baseball hat; Mozynski also remembered
receiving the crack cocaine in a plastic bag wrapped in newspaper.
The third factor is the accuracy of the witness' prior
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description of the criminal. Mozynski's prior description of
Henderson was not perfect. Mozynski described Henderson as
weighing between 175 and 180 pounds when he actually weighed 150
pounds. Mozynski reported that Henderson was five feet, ten inches
tall, when Henderson claims he is five feet, nine inches tall.
Mozynski also said that Henderson had a medium complexion;
Henderson says that he has a dark complexion. We are satisfied,
however, that the other reliability factors are sufficiently
persuasive to defeat any suspicion of unreliability raised by
Mozynski's prior description. See United States v. Flores-Rivera,
56 F.3d 319, 331 (1st Cir. 1995) (other reliability criteria under
Biggers sufficient to overcome unreliability engendered by one
factor); Watson, 76 F.3d at 7 n.1 (upholding district court's
finding that identification was reliable under Biggers where there
was no prior description of the assailant but the witness had ample
opportunity to focus on suspect and identified him within minutes
of the assault).
The fourth factor, the level of certainty demonstrated by
the witness at confrontation, does not give us reason to pause.
Mozynski "remained steadfast in the positiveness of his
identification[]," despite defense counsel's rigorous cross-
examination. Souza v. Howard, 488 F.2d 462, 465-66 (1st Cir.
1973). The fifth Biggers factor is the length of time between the
crime and the confrontation. The last time Mozynski observed
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Henderson was in November 1998. Mozynski identified Henderson's
photograph in January 1999. The six day jury trial ended on April
30, 2001. We do not find that this lapse of time militates against
the reliability of Mozynski's in-court identification given the
strength of the other factors. See Flores-Rivera, 56 F.3d at 331
(seven year gap between crime and identification permissible
because other reliability criteria were sufficiently persuasive);
Drougas, 748 F.2d at 28 (five year gap between crime and
photographic identification permissible because witness spent
considerable time with defendant).
Based on our thorough review of the record and
application of the pertinent law to the facts we rule that
Mozynski's identification of Henderson was sufficiently reliable to
overcome the admittedly suggestive photo showing.
Henderson advances a plethora of reasons why Mozynski's
identification should not pass muster: he argues that Mozynski did
not know the defendant by his actual name; that Mozynski lied to
the government when he said that he had met with Butter on at least
one occasion; that Mozynski wore glasses because he suffered from
blurred vision and double vision; that when shown the photo,
Mozynski stated that "[i]t looks like 'Butter';" that Mozynski was
mistaken as to the weight and complexion of the defendant; and that
"during the entire period of Mozynski's observations of Butter, he
suffered a worsening problem of memory loss."
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Our conclusion regarding the reliability of Mozynski's
identification makes a detailed examination of each argument
unnecessary. For as the Supreme Court has stated:
Surely, we cannot say that under all the
circumstances of this case there is a very
substantial likelihood of irreparable
misidentification. Short of that point, such
evidence is for the jury to weigh. We are
content to rely upon the good sense and
judgment of American juries, for evidence with
some element of untrustworthiness is customary
grist for the jury mill. Juries are not so
susceptible that they cannot measure
intelligently the weight of identification
testimony that has some questionable feature.
Manson, 432 U.S. at 116 (citation and quotation marks omitted).
Nor need we dwell too long on Powers' identification of
defendant. There was evidence from which it could be found that
she had known Henderson going back to 1994. Powers bought crack
cocaine from Henderson for her own use and resale. She saw
Henderson at her apartment daily during a six month period in 1994,
at times spending an hour or more with him. Powers was present at
all crack cocaine sales to Mozynski, as an ally of Henderson.
During October and November 1998, Powers saw Henderson every day.
Powers' identification of Henderson at the pretrial hearing and at
the jury trial was positive and firm. In addition, we do not think
the gap in time between Powers' last transaction with Henderson and
her identification of Henderson's photograph calls into question
the reliability of her in-court identification, particularly given
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her close interaction with Henderson. See Flores-Rivera, 56 F.3d
at 331; Drougas, 748 F.2d at 28.
Like those made regarding Mozynski, all of the
defendant's arguments pertaining to Powers focus on her
reliability: that she was under the influence of cocaine during
the four sales; that she did not know the amount of money involved
in the sales; that she was unable to tell how the cocaine was
packaged. Suffice it to say that all of these factors were brought
to the jury's attention.
We rule that Powers' testimony was properly submitted to
the jury.
B. The Admissibility of the Pawn Shop Receipt
Henderson alleges that the court below committed
"constitutional error" when it admitted into evidence a pawn shop
sales receipt found in Henderson's wallet when he was arrested.
The pawn shop receipt was signed by Henderson and indicated that
Henderson pawned a watch on March 21, 1998, and redeemed it by
paying $320 on November 6, 1998, just days after the November 3,
1998 drug sale. While Henderson objected at trial to the admission
of the receipt, he did so on relevancy, not constitutional,
grounds. If a new basis for objection is raised for the first time
on appeal, that ground is not subject to harmless error review, and
may only be reviewed for plain error. See United States v. Walsh,
75 F.3d 1, 5 (1st Cir. 1996). Review for plain error requires four
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showings: (1) that an error occurred (2) which was clear or
obvious and which not only (3) affected the defendant's substantial
rights, but also (4) seriously impaired the fairness, integrity, or
public reputation of the judicial proceeding. See United States v.
Gomez, 255 F.3d 31, 37 (1st Cir. 2001).
Henderson attacks the admission of the pawn shop receipt
on the grounds that it both impermissibly shifted the burden of
proof by requiring him to explain where he got the money to redeem
the watch and, at the same time, constituted a "direct statement"
to the jurors that they could make an inference against him based
on his choice not to testify. Both contentions lack merit.
Henderson overlooks the fact that the admission of any evidence
offered by the government in a criminal trial gives the defendant
a reason to testify if he has a basis for rebutting the
government's theory of the case. The jury was properly instructed
both as to the government's burden of proof and as to the
defendant's right to remain silent. In light of these
instructions, we fail to see how the admission of the pawn shop
sales receipt, in and of itself, impermissibly shifted the burden
of proof, or how it invited the jury to draw an inference of guilt
from the defendant's choice not to testify. The district court's
admission of the pawn shop sales receipt did not constitute plain
error.
C. The Remaining Evidence
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Because we are satisfied that the eyewitness testimony
(including the identification evidence) and pawn shop sales receipt
were sufficient to support Henderson's conviction on all five
counts, we need only address whether there was sufficient evidence
to support the verdict involving proximity to a school zone under
18 U.S.C. § 860. In determining the evidentiary sufficiency of a
guilty verdict, "the relevant question is whether, after viewing
the evidence in the light most favorable to the prosecution, any
rational trier of fact could have found the essential elements of
the crime beyond a reasonable doubt." United States v. Woodward,
149 F.3d 46, 56 (1st Cir. 1998). "The scope of review is over the
totality of the evidence, both direct and circumstantial." United
States v. Czubinski, 106 F.3d 1069, 1073 (1st Cir. 1997).
Henderson avers that the district court erred when it did
not grant his Rule 29 motion concerning the school zone violations
attendant to the two transactions that took place at 27 Wachusett
Street. In particular, Henderson is "perplexed" by the fact that
the district court denied the motion even though Agent Anderson
testified that the distance from the Elm Park Community School to
27 Wachusett Street was 1,095 feet, which he measured by walking
the sidewalks. As Henderson correctly observes, 1,095 feet exceeds
the statutory 1,000 feet needed to support a conviction in
connection with section 860.
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Be that as it may, Henderson neglects the fact that the
proper way to determine whether a sale was 1,000 feet or less from
a school is by measuring a straight line, rather than a pedestrian
travel route. See United States v. Soler, 275 F.3d 146, 155 n.6
(1st Cir. 2002) (explaining that "the schoolyard statute envisions
straight-line rather than pedestrian-route measurements"). Here,
the government introduced into evidence, without objection, a map
of the Elm Park Community School area which provided a detailed
illustration of the distance between 27 Wachusett Street, where the
drug transactions took place, and the school. This map
demonstrated that each of the drug transactions occurred within
1,000 feet of the school; the government, in closing argument,
pointed out as much to the jury. We do not hesitate to find that
this evidence was sufficient to support the verdict.
D. The Five Year Limitation Contained in 21 U.S.C. § 851(e)is
Constitutional
On March 9, 2001, the government filed an information
pursuant to 21 U.S.C. § 851(a), notifying Henderson that the
government would seek a twenty year minimum sentence based upon his
1991 South Carolina state court conviction for drug trafficking.
The information charged that, on or about June 13, 1991, Henderson
was convicted in South Carolina state court for distribution of
cocaine. 21 U.S.C. § 851(e) states:
No person who stands convicted of an offense
under this part may challenge the validity of
any prior conviction alleged under this
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section which occurred more than five years
before the date of the information alleging
such prior conviction.
Because his prior conviction occurred more than five
years before the filing of the government's information, the
district court concluded that the plain language of section 851(e)
precluded Henderson from denying the conviction, see id. § 851(b),
or challenging its validity, see id. § 851(c). Based upon this
prior conviction, Henderson was sentenced to a mandatory minimum of
20 years in prison. See id. § 841(b)(1)(A).
Although we have previously recognized that section
851(e) bars an appellant from challenging the validity of prior
convictions that are more than five years old, see United States v.
Romero-Carrion, 54 F.3d 15, 18 (1st Cir. 1995), we have not, until
now, been asked to decide whether section 851(e) is constitutional.
Henderson now poses the following question of first impression in
this circuit: Does the five year limitation period set forth in 21
U.S.C. § 851(e) violate the Due Process and Equal Protection
Clauses of the Constitution? We hold that it does not.
"We review de novo constitutional challenges to federal
statutes." United States v. Robinson, 137 F.3d 652, 653 (1st Cir.
1998). As an initial matter, Henderson faces the hurdle that no
court has sustained a constitutional challenge to 21 U.S.C. §
851(e), and at least six circuits have found the provision
constitutional on both due process and equal protection grounds.
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See United States v. Reed, 141 F.3d 644, 652 (6th Cir. 1998);
United States v. Prior, 107 F.3d 654, 660-61 (8th Cir.), cert.
denied, 522 U.S. 824 (1997); United States v. Gonzales, 79 F.3d
413, 426-27 (5th Cir.), cert. denied, 519 U.S. 869 (1996); United
States v. Arango-Montoya, 61 F.3d 1331, 1338 (7th Cir. 1995);
United States v. McChristian, 47 F.3d 1499, 1503 (9th Cir. 1995);
United States v. Williams, 954 F.2d 668, 673 (11th Cir. 1992),
cert. denied, 517 U.S. 1157 (1996). He urges us to depart from
this precedent on the ground that some of these circuits have found
section 851(e) constitutional based upon a misplaced reliance on
Custis v. United States, 511 U.S. 485 (1994). According to
Henderson, Custis considered only the constitutionality of 18
U.S.C. § 924(e)(1), and not section 851(e), and therefore has no
bearing on our determination. We disagree.
In Custis, the Supreme Court examined section 924(e)(1),
which provides no statutory right to collaterally challenge state
court convictions that are used to enhance federal sentences under
the Armed Career Criminal Act of 1984. Section 924(e)(1) raises
the penalty for possession of a firearm by a felon from a maximum
of 10 years in prison to a mandatory minimum sentence of 15 years
and a maximum of life in prison without parole if the defendant
"has three previous convictions . . . for a violent felony or a
serious drug offense." The Court held that Congress' omission of
language authorizing collateral attacks in section 924(e)(1)
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indicated that it did not intend to give defendants the right to
challenge the validity of prior convictions under this statute.
Custis, 511 U.S. at 497. Thus, if Congress has the power to
foreclose collateral challenges by merely omitting statutory
language that authorizes such attacks, see 18 U.S.C. § 924(e)(1),
then Congress can certainly preclude collateral challenges after
five years where it explicitly includes such language in a statute.
Notwithstanding, Henderson counters that once Congress
allows the use of collateral challenges, as it has for convictions
less than five years old under section 851(e), any conditions
imposed on the use of those challenges must accommodate fundamental
liberties. He claims that the selection of a particular number of
years to establish a time bar is patently arbitrary, and that the
five year limitations period violates the Equal Protection Clause
because it unfairly discriminates against those who commit a
federal offense more than five years after a prior conviction. His
arguments are not well taken.
The ban against challenging convictions over five years
need only be supported by a rational legislative purpose because no
fundamental right or suspect class is at issue in this case. See
Reed, 107 F.3d at 661. The five year limitation on the right to
collaterally challenge prior convictions at sentencing has a
rational basis in light of both the administrative difficulties
inherent in challenges to prior convictions, such as lost or
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destroyed records, unavailable witnesses, and fading memories, and
the interest in finality. See, e.g., Arango-Montoya, 61 F.3d at
1338. We therefore have no difficulty concluding that section
851(e) does not violate Henderson's right to due process and equal
protection of the law.
E. Closing Argument
Henderson also takes issue with the government's closing
argument. Specifically, he urges that the prosecutor improperly
persuaded the jury to convict him by allegedly interjecting his
personal opinion of the evidence, vouching for a witness, shifting
the burden of proof and inflaming the jury. We address each of his
arguments in turn.
1. Standard of Review
Where, as here, the defendant made no objection to the
government's closing argument at trial, the standard of review is
"plain error." United States v. Hernandez-Vegas, 235 F.3d 705, 710
(1st Cir. 2000). Henderson faces a high hurdle because it is
established that plain error review "is ordinarily limited to
'blockbusters' and does not consider 'the ordinary backfires --
whether or not harmful to a litigant's cause -- which may mar a
trial record.'" United States v. Griffen, 818 F.2d 97, 100.
Henderson bears the burden of demonstrating that the prosecutor's
remarks were prejudicial and affected his substantial rights. Id.
at 55. Even then, error will not be recognized unless it caused a
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"miscarriage of justice" or seriously undermined the "integrity or
public reputation of judicial proceedings." United States v.
Olano, 507 U.S. 725, 736 (1993). We consider whether the
prosecutor's remarks had any likely impact on the jury based on the
entire record, including the closing argument presented by the
defense. See Joyner, 191 F.3d at 55.
2. Personal Opinion of the Evidence
We reject Henderson's argument that the prosecutor
improperly interjected his personal opinion of the evidence when he
characterized as "absurd" the defense's assertion that Powers was
under the influence of drugs during the transactions. A prosecutor
"may attempt to persuade the jury to draw suggested inferences
unfavorable to the defense, as long as the prosecutor's own opinion
as to the witness' credibility is not urged on the jury." United
States v. Smith, 982 F.2d 681, 683 (1st Cir. 1993).
In this case, the prosecutor offered no opinion
concerning the credibility of the defense witnesses. Instead,
during his closing argument, the prosecutor responded to a
persistent suggestion made by the defendant that Powers had been on
drugs during the transactions and thus could not remember the
detailed information she provided during her testimony. The
prosecutor did this by asking the jury to focus on the tape
recordings made of those transactions:
And don't the tapes prove to you how absurd
the defendant's claims are that Powers was too
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high or too crazy to have accurately perceived
the events which occurred during the
conspiracy? Don't the tapes, in fact, prove
that Powers became suspicious that Special
Agent Guerard might be a cop right after she
met him?
It is apparent that the prosecutor asked the jury to consider
whether the evidence before it -- tape recordings in which Powers
correctly perceived that Mozynski's alleged drug customer was an
undercover police officer -- refuted defendant's contention that
Powers' mind was too altered to observe and remember the drug
transactions. There was nothing improper in the government
identifying for the jury a specific item of evidence and arguing
that the jury should infer from that piece of evidence that the
defendant's theory was not worthy of belief. See United States v.
Mount, 896 F.2d 612, 625 (1st Cir. 1990); United States v. Garcia,
818 F.2d 135, 143 (1st Cir. 1987). Accordingly, the district court
did not commit plain error by allowing the prosecutor's statement.
Henderson challenges other statements in the government's
closing on the ground that the prosecutor again offered his
personal opinion of the evidence when he told the jury:
Look at the evidence with a very stern and
suspicious eye. And if you do that, you'll
have no doubt that the government has
sustained its burden.
Henderson says these statements implied that the jury "could not
return a verdict of not guilty without failing to consider the
evidence closely." What Henderson fails to consider is that a
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prosecutor has a right to comment on the plausibility of the
defense theory. See Garcia, 818 F.2d at 143. Here, the prosecutor
suggested that a careful review of the evidence would reveal that
the government's theory of the case was more plausible than
Henderson's theory of the case. This suggestion properly directed
the jury's attention to the evidence presented at trial.
We also disagree with Henderson that the prosecutor
interjected his personal opinion of the evidence in rebuttal when
he commented "if you ask the wrong questions, you get the wrong
answers," and "if you ask the right questions in this case, there's
no doubt but that their clients will be convicted." These comments
were not inappropriate because "[a]lthough it is the jury's job to
draw inferences, there is nothing improper in the Government's
suggesting which inferences should be drawn." Mount, 896 F.2d at
625.
Here, the prosecutor argued that Henderson's theory of
the case directed the jury to the "wrong" questions, whereas the
government's theory directed it to the "right" questions;
presumably, these were questions based on the evidence. We see no
reason why the prosecutor should be prohibited from suggesting that
the government's theory of the case did a better job of focusing on
the evidence. The prosecutor was entitled to argue that the jury
should look at the evidence to determine Henderson's guilt. We see
no plain error.
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3. Vouching
Henderson next maintains that the prosecutor vouched for
Powers in his closing argument when he stated that Powers
"repeatedly told you that she was told to tell the truth, to tell
the truth when she took the stand." A prosecutor may not place
"the prestige of the government behind a witness by making personal
assurances about the witness' credibility." United States v. Neal,
36 F.3d 1190, 1207 (1st Cir. 1994).
There were no such personal assurances from the
government in this case. The prosecutor's statement merely
summarized Powers' prior testimony, and was within the accepted
bounds of argument. See United States v. Auch, 187 F.3d 125, 131
(1st Cir. 1999). We note that the prosecutor did not express his
personal opinion about Powers' credibility; nor did the prosecutor
suggest that special circumstances, such as Powers' plea agreement,
ensured her honesty. See United States v. Wihbey, 75 F.3d 761, 772
(1st Cir. 1996); United States v. Dockray, 943 F.2d 152, 156 (1st
Cir. 1991). Furthermore, the prosecutor's statement came after
defense counsel suggested in cross-examination that Powers had been
coached by the government. We find that the prosecutor's statement
did not constitute improper vouching.
4. Shifting the Burden of Proof
Henderson also complains that the prosecutor improperly
commented on his right to remain silent when he responded to
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defense allegations that the government had failed to call a
supposedly percipient witness. It is established that any comment
by a prosecutor on a defendant's exercise of the right to remain
silent violates the Fifth Amendment's guarantee against self-
incrimination. See Wihbey, 75 F.3d at 769.
In the closing argument, defense counsel suggested that
the government was hiding something by not producing Lynn
Cappulett, an individual whom Powers and Mozynski each identified
as having been at Carey's residence during the first drug
transaction on October 19:
[The government] never tracked down Lynn
Cappulett. Mozynski and Powers both said that
she was at 6 Denny Street on October 19, 1998.
And according to Mozynski the first deal
happened right in front of her eyes. Yet, did
you hear any evidence that Agent Anderson or
Agent Guerard ever tried to find her or talk
to her? This was an eyewitness to what went
on inside the building.
In rebuttal, the prosecutor replied:
Where is Lynn Cappulett, both counsel ask you?
Well, that's a good question. Why don't they
tell us? Maybe defense counsel could have
interviewed Lynn Cappulett.
The prosecutor's response was not such that "jurors would
probably interpret it as commentary on the accused's failure to
take the stand," United States v. Taylor, 54 F.3d 967, 979 (1st
Cir. 1995), particularly because it was made in rebuttal after
defense counsel had themselves raised the issue. See United States
v. Nickens, 955 F.2d 112, 122 (1st Cir. 1992) (evaluating effect of
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statement made in rebuttal argument). Under the invited response
rule, if the prosecutor's remarks were "invited," and "did no more
than respond substantially in order to right the scale," such
comments do not warrant reversal. Id. (internal quotations
omitted). Here, defense counsel invited a response by raising the
issue of Lynn Cappulett's whereabouts in the first instance. The
prosecutor's remarks were limited and addressed only the defense
counsel's own comments. See id. at 123. Thus, there was no plain
error when the district court did not, on its own initiative,
strike portions of the government's rebuttal argument.
5. Inflaming the Passions of the Jury
We cannot agree with Henderson that the district court
erred when it did not, on its own initiative, strike the
prosecutor's description of Henderson as "a successful businessman
in the business of crack cocaine," who wanted a "windfall" verdict
in his favor. When the evidence of a defendant's guilt is strong,
a court should be very reluctant to find plain error in "misguided
rhetoric." United States v. Sepulveda, 15 F.3d 1161, 1188 (1st
Cir. 1993). Under plain error review, improper remarks are grounds
for reversal only if they "so poisoned the well that the trial's
outcome was likely affected." Id. (internal quotations omitted).
We place a prosecutor's remarks in context when determining whether
they were inappropriate. See id. at 1187.
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Henderson posits that the prosecutor's comments
improperly appealed to the passions of the jury. To the contrary,
we fail to see how these remarks would distract the jury from
focusing on whether the evidence established guilt beyond a
reasonable doubt. See United States v. Manning, 23 F.3d 570, 574
(1st Cir. 1994). Defense counsel suggested in his opening that
Henderson was a legitimate businessman; the prosecutor countered
that suggestion by arguing that Henderson was in the business of
selling drugs. Here, defense counsel invited a response by
suggesting that Henderson "worked hard" in the "music promotion
business," and was "successful." The prosecutor, in turn, offered
a reply that was not only supported by the evidence but was
properly limited and addressed only the defense counsel's own
comments. See Nickens, 955 F.2d at 123. There was nothing
improper in this suggestion.
Nor did the district court err when it permitted, as
Henderson claims, the prosecutor to tell the jury that it could
convict him "even if they found that the defendant was not the
distributor of the cocaine." This is somewhat misleading. In his
closing, Henderson's counsel suggested that someone other than
Henderson was the crack cocaine supplier. The prosecutor
responded:
What are the odds that there was a different
supplier in this case in light of the
following facts: First, a person that you
might well find at a minimum bears a striking
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resemblance to this individual, even if you
don't find that it's him, walks into 6 Denny
Street at the exact time of a crack
distribution on October 19th. Coincidence?
When read in its proper context, it is apparent that this comment,
while unartfully expressed, is innocuous. It certainly would not
suggest to the jury that it could convict the defendant even if it
found that the person alleged to be the supplier of the cocaine was
not the defendant. Furthermore, the court's instructions to the
jury clearly explained that the ultimate question for the jury was
whether Henderson was the supplier of crack cocaine on the dates in
question. We conclude that Henderson's conviction should not be
disturbed on the basis of these statements.
We also disagree with Henderson that the prosecutor
improperly appealed to the passions of the jury during rebuttal by
commenting, with regard to Henderson's defense theory, "[w]hat is
this, the Jerry Springer show?" Given the strong evidence against
Henderson, the prosecutor's "misguided rhetoric," Sepulveda, 15
F.3d at 1188, if it was even that, does not rise to the level of
plain error. See Joyner, 191 F.3d at 55. We conclude that
Henderson's conviction should not be disturbed on account of the
prosecutor's reference to the Jerry Springer show.
F. Co-conspirator's Statements
Henderson argues, in summary fashion, that the only
evidence that indicates he engaged in any conspiracy was the
suggestive identifications of Mozynski and Powers, which, according
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to Henderson, should have been excluded in the first instance.
Because his challenge to the co-conspirator statements is premised
solely on the identifications being improperly admitted, we need
not consider the admissibility of these statements in light of our
conclusion that the district court did not err in admitting the
identifications.
In any event, we are satisfied that even without the
identification testimony the evidence was sufficient for a jury to
conclude that Henderson was part of a conspiracy to sell crack
cocaine. This includes: the videotape of Henderson taken by the
DEA at 6 Denny Street at the October 19, 1998 drug transaction;
Agent Anderson's identification of Henderson; the fact that the
pager used in the drug transactions was subscribed to by D.
Henderson of 27 Wahuset Street in Worcester; and the fact that
Henderson lived at 27 Wachusett Street, where two of the drug
transactions took place. This evidence, aside from the
identifications of Mozynski and Powers, was sufficient for a
rational trier of fact to find Henderson guilty beyond a reasonable
doubt. See United States v. Loder, 23 F.3d 586, 589 (1st Cir.
1994).
G. Jury Instructions
Henderson alleges three errors in the district court's
jury instructions, which he believes "incorrectly diminished the
evidentiary requirements for finding the defendant guilty."
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Specifically, he challenges the jury instructions concerning
identification, aiding and abetting and conspiracy. We review for
"plain error" because Henderson did not raise his objections to the
jury instructions at trial. See Gomez, 255 F.3d at 37.
Turning to the identification instruction, we begin by
noting that the district court provided a lengthy instruction:
Identification testimony is an expression of
belief or impression by the witness. Its
value depends on the opportunity the witness
had to observe the offender at the time of the
offense and to make a reliable identification
later. Whether the witness had an adequate
and effective opportunity to observe the
offender at the time of the offense may be
affected by such matters as: (1) how long or
short a time was available; (2) how far or
close the witness was to the scene of the
offense; (3) how good was the lighting; (4)
whether the witness was under the influence of
drugs; and (5) whether, and the extent to
which, the witness had occasion in the past to
see or know the person identified. If the
identification by the witness may have been
influenced by circumstances under which an
image of the defendant was presented to the
witness for identification, you may consider
those circumstances as well. You may also
take into account that an identification made
by picking the defendant out of a group of
similar individuals is generally more reliable
than one which results from the presentation
of an image of the defendant alone to the
witness.
Henderson, without citing any authority, complains that
this instruction "fell far short of the detail required by this
case." We disagree. Contrary to Henderson's view, the instruction
was thorough and suitably focused on the reliability of the
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identification as contemplated by the case law. See Manson, 432
U.S. at 114 ("[R]eliability is the linchpin in determining the
admissibility of identification testimony"); Lopez-Lopez, 282 F.3d
at 10-11; Watson, 76 F.3d at 6. The district court was not
required to accept Henderson's alternative instruction because its
own instruction was proper. See United States v. Arcadipane, 41
F.3d 1, 8 (1st Cir. 1994) (a defendant "is not entitled to the
nuances of phrasing that he finds most soothing").
Henderson further avers that the district court's aiding
and abetting instruction permitted the jury to convict without
finding specific intent. See Loder, 23 F.3d at 591 (discussing
specific intent requirement for aiding and abetting). In order to
sustain a conviction for aiding and abetting the government must
prove, in addition to the commission of the offense by the
principal, that the defendant consciously shared the principal's
knowledge of the underlying criminal act, and intended to help the
principal. See United States v. Spinney, 65 F.3d 231, 235 (1st
Cir. 1995).
With this in mind, the district court instructed the jury
that, inter alia, the government must prove beyond a reasonable
doubt, first that someone committed the charged crime, and second,
that the defendant then under consideration
willfully associated himself in some way with
the crime and willfully participated in it as
he would in something he wished to bring
about. This means that the government must
prove that the defendant consciously shared
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the other person's knowledge of the underlying
criminal act and intended to help him.
This is all the law requires; the district court's instruction
adequately set forth the elements of aiding and abetting.
Finally, Henderson asserts that the conspiracy
instruction allowed the jury to convict him without finding the
necessary intent. This argument is without merit. To prove intent
for conspiracy, the government must prove beyond a reasonable doubt
that the defendant intended to join in the conspiracy and intended
the substantive offense to be committed. See Gomez, 255 F.3d at
35. The district court properly instructed the jury on the
requisite intent to support a conspiracy conviction:
The government must prove two kinds of intent
beyond a reasonable doubt before Chamond
Henderson . . . can be said to have willfully
joined the conspiracy: an intent to agree and
an intent, whether reasonable or not, that the
underlying crime be committed.
This formulation accurately states the requisite intent needed for
a conspiracy conviction. See United States v. Rivera-Santiago, 872
F.2d 1073, 1079 (1st Cir. 1989). Accordingly, we are confident
that the jury instructions do not constitute plain error.
H. Apprendi
Henderson's last argument is that the Supreme Court's
decision in Apprendi v. New Jersey, 530 U.S. 466 (2000), requires
the government to prove his 1991 South Carolina conviction beyond
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a reasonable doubt. Our review is de novo. See United States v.
Sacko, 247 F.3d 21, 24 (1st Cir. 2001).
We have consistently observed with a "regularity
bordering on the monotonous," that Apprendi does not apply to
sentencing enhancements based on prior convictions. United States
v. Moore, 286 F.3d 47, 50 (1st Cir. 2002); see also United States
v. Bradshaw, 281 F.3d 278, 294 (1st Cir. 2002); United States v.
Gomez-Estrada, 273 F.3d 400, 402 (1st Cir. 2001). Accordingly, we
reject Henderson's argument.
Affirmed.
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